Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
The totals here are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,547,438,962115
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
MF Global$1,324,000,0003

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
Brookside Capital, LLC   2011 SEC $2,124,079
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 MO-SEC $2,121,579
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2011 FINRA $2,115,000
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 SEC $2,109,458
RBC Capital Markets Corporation Royal Bank of Canada financial services 2005 FINRA $2,108,000
The Gaming Factory, Inc.   2003 SEC $2,100,102
Cantone Research, Inc. and Cantone Office Center, LLC   2017 NJ-BOS $2,100,000
GMC Holding Corporation   2009 SEC $2,090,000
Equitec Proprietary Markets, LLC   2009 SEC $2,080,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2020 FINRA $2,075,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2014 MO-SEC $2,070,000
ShipChain, Inc.   2020 SEC $2,050,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2011 FINRA $2,050,000
Knight Financial Products, LLC Virtu Financial financial services 2009 SEC $2,040,000
2 West, Inc., et al.   2016 SEC $2,025,179
TelexElectric, LLLP   2018 SEC $2,022,239
National Investment Consultants, Inc. and Pacific Best Group Ltd.   2006 CA-DFPI $2,021,500
Galleon Management, L.P.   2005 SEC $2,020,450
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC   2012 AZ-SEC $2,016,570
Integrowth Financial Group   2004 AZ-SEC $2,016,524
Kroll Bond Rating Agency Inc.   2020 SEC $2,010,000
AirTrac Inc.   2008 SEC $2,005,401
BAIC, Inc.   2019 AZ-SEC $2,004,649
Liquidnet Inc.   2014 SEC $2,000,000
iGlobal Strategic Management, LLC   2012 CFTC $2,000,000
Longbranch Group International LLC   2011 CFTC $2,000,000
Daniels Trading Group LLC   2011 CFTC $2,000,000
MF Global Inc. MF Global financial services 2007 CFTC $2,000,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs financial services 2007 SEC $2,000,000
National Clearing Corporation   2006 SEC $2,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 SEC $2,000,000
Glencore Agriculture B.V.,   2018 CFTC $2,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2004 SEC $2,000,000
Baron Capital, Inc.   2003 SEC $2,000,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 NY-AG $2,000,000
Global Strategy Group   2010 NY-AG $2,000,000
Pacific Corporate Group Holdings, LLC   2009 NY-AG $2,000,000
Omgeo Matching Services US, LLC   2019 SEC $2,000,000
LPL Financial, LLC LPL Financial financial services 2014 IL-SEC $2,000,000
Citigroup Global Markets Inc. Citigroup financial services 2012 MA-SEC $2,000,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2005 MN-FIN $2,000,000
White Cedar Group, LLC   2014 NJ-BOS $2,000,000
Cifuentes Fund Management, LLC   2016 NJ-BOS $2,000,000
UBS Financial Services Inc. UBS financial services 2019 FINRA $2,000,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 FINRA $2,000,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2017 FINRA $2,000,000
RBS Securities, Inc. NatWest Group PLC financial services 2016 FINRA $2,000,000
Charles Schwab & Co. Charles Schwab Corp. financial services 2015 FINRA $2,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2015 FINRA $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2013 FINRA $2,000,000
Wells Fargo Investments, LLC Wells Fargo financial services 2011 FINRA $2,000,000
Santander Securities of Puerto Rico Banco Santander financial services 2011 FINRA $2,000,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $2,000,000
Wachovia Securities LLC Wells Fargo financial services 2007 FINRA $2,000,000
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $2,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 FINRA $2,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 SEC $1,998,143
Parker Skylar &Associates, LLC   2013 AZ-SEC $1,992,000
Weiss Research, Inc   2006 SEC $1,991,141
Lazare Industries, Inc.   2008 SEC $1,975,911
Assurance Capital Management, LLC   2017 CFTC $1,969,165
Citigroup Global Markets Inc. Citigroup financial services 2015 MULTI-FIN $1,965,000
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc.   2021 SEC $1,957,053
First Allied Securities, Inc.   2010 SEC $1,950,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2012 FINRA $1,931,488
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
St. Germain Investment Management, Inc.   2021 SEC $1,925,250
Jefferies & Company, Inc. Jefferies Financial Group diversified 2011 FINRA $1,925,000
Deerfield Management Company   2013 SEC $1,902,224
Ribbon Communications Inc. (fka Sonus Networks) Ribbon Communications telecommunications 2018 SEC $1,900,000
Massachusetts Financial Services Company Sun Life Financial financial services 2018 SEC $1,900,000
Banco Espirito Santo, S.A. Banco Espirito Santo financial services 2011 NJ-AG $1,900,000
Wells Fargo Investments, LLC Wells Fargo financial services 2009 MULTI-FIN $1,900,000
RLGMAN Corp. and STABLE, LLC   2012 AZ-SEC $1,897,393
Banco Comercial Portugues, S.A.   2013 SEC $1,892,058
Lunden Forex Partners, LP, Lunden Forex Management, LLC , Black Horse Funds, LLC, Black Horse Management, LLC, and Black Horse Partners, LP   2012 CFTC $1,890,000
FTN Financial Securities Corp.   2011 SEC $1,873,636
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
ProEquities, Inc. Dai-ichi Life financial services 2019 SEC $1,852,383
Winslow and Evans & Crocker, Inc.   2021 SEC $1,851,787
Ace Payday Plus, LLC   2004 SEC $1,842,133
Marchant International Resources, Inc.   2016 AZ-SEC $1,841,513
Capital Cove Bancorp LLC   2018 SEC $1,829,868
Moon River Studios, Inc.   2018 SEC $1,824,368
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
Capital Analysts, LLC   2018 SEC $1,820,349
Flatiron Capital Partners, LLC and Flatiron Systems, LLC   2012 SEC $1,817,277
Geneos Wealth Management Inc.   2018 SEC $1,808,121
P-R-E, LLC dba Phoenix Renewable Energy   2013 AR-SEC $1,804,250
Arjent Capital Markets LLC and Chicago Trading Managers LLC   2013 CFTC $1,800,000
PMC Strategy, LLC   2013 CFTC $1,800,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management   2012 CFTC $1,800,000
Group One Trading, L.P.   2009 SEC $1,800,000
Victory Asset   2018 CFTC $1,800,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2015 FINRA $1,800,000
Banc One Capital Markets, Inc.   2001 FINRA $1,800,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd.   2007 SEC $1,795,000
Principal Securities, Inc. Principal Financial financial services 2019 SEC $1,764,624
Aristeia Capital, LLC   2011 SEC $1,762,776
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.